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Workers inspecting vehicle wheel at mine site

Assessment programs

View our latest assessment program reports in the document library

The implementation of planned assessment programs for mines and petroleum sites is a crucial element in the Resources Regulator's incident prevention strategy.

The Resources Regulator has developed assessment tools to proactively develop the Regulator’s incident prevention strategy for health and safety compliance across the NSW resources industry.

The Regulator’s planned assessment programs focus on assessing a mine operator's management of the critical controls to prevent material unwanted events (MUE) and evaluate the effectiveness of critical controls in the mine operator’s health and safety management system. 

The Regulator’s planned assessment programs have been developed from a broad-brush risk assessment review conducted in January 2024 of the major risks in the NSW mining industry and will focus on legislated principal hazards and control plans.

The Regulator acknowledges various terminology definitions published by the ICCM and other safety organisations. However, for the purposes of the Regulators assessment program a critical control is a control that, of itself, materially impacts the likelihood or consequence of an event in the absence of other controls.

The Regulator will assess the identified critical controls to prevent a MUE which for the purpose of the Regulator’s assessment program a MUE is the point at which a system reaches an uncontrollable deviation from safe operations and has the potential to result in multiple deaths though a single incident or a series of recurring incidents resulting in a fatality outcome. 

Regulator assessments will assess documentation and implementation of the critical controls at mine sites and will provide a report to the mine operator. The Inspector may in certain circumstances issue written directions to the mine operator using compliance notices issued under WHS Act legislation as a result of the findings of the assessment review at the mine.

At the completion of the overall assessment program, the Regulator will publish a summary information report to advise industry of overall assessment findings, the number and types of compliance notices issued and provide industry with recommendations relating to the findings of the critical control assessments. 

The Regulator acknowledges that mine sites have the ability to identify and manage their own critical controls based on the context of that individual business.

Assessment program fact sheets and reports

Prior to the commencement of an assessment program, a fact sheet is published for the mining industry to outline the ‘Principal Hazard’ or ‘Control Plan’ in focus in the assessment program.

Each fact sheet tables the ‘Critical Controls’ to be assessed within the assessment program and tables relevant publication links to Regulator Safety Alerts, Safety Bulletins, guidance material and information resources.

View our assessment program fact sheets

Principal hazards

Control plans

Emergency management control plan

For more information and guidance including fact sheets go to the Emergency Planning page

For information and guidance including fact sheets go to the Hazards chemicals plan

Explosives control plan

For information and guidance including fact sheets go to the Explosives controls page

Well integrity control plan

 

Other program topics

Compliance priority or high visibility campaigns

 

Dredging

 

Training and competencies

 

 

Assessment program reports

The Regulator uses a bowtie hazard management framework and standardised assessment checklist for each program plan. Under each program plan, the effectiveness of the safety management system at each mine site is assessed against a set of critical controls to prevent a material unwanted event (MUE), with the program findings, compliance notice outcomes and recommendations to industry concerning the critical controls to prevent a MUE published in the reports available below.

View our assessment program reports

Date Critical risk being assessed Mine type Report
March 2020 to May 2024 Fixed and mobile plant (mechanical) (PDF, 384.49 KB) small mines consolidated report
September 2023 to May 2024 Air quality or dust or airborne contaminants (PDF, 492.52 KB) small mines consolidated report
July to August 2024 Uncontrolled gas or explosion (PDF, 411.31 KB) coal mines consolidated report
July 2023 to May 2024 Health control plan stage 2 (PDF, 523.75 KB) coal mines consolidated report
June to July 2024 Mine safety high visibility campaign (PDF, 271.5 KB) coal, metalliferous and extractives mines consolidated report
June 2024 Structural collapse (PDF, 859.15 KB) tier 1 surface and underground metalliferous mines consolidated report
June 2024 Fire or explosion - explosion suppression (PDF, 401.19 KB) coal mines below surface consolidated report 
May 2024 Health control plan (PDF, 454.29 KB)  coal mines consolidated report 
May 2024 Licensed recognised service facility assessment Dec 2021 to May 2023 (PDF, 590.4 KB) underground coal mines consolidated report 
April 2024 Outburst, coal burst, rock burst (PDF, 351.68 KB) underground coal mines consolidated report
April 2024 High risk activities  (PDF, 446.91 KB) mining engineering consolidated report
April 2024 Electrical engineering control plan stage 2 (PDF, 708.34 KB) coal surface and underground consolidated report
January 2024 Emergency first response (PDF, 526.56 KB) metalliferous mines underground consolidated report
November 2023 Explosives control plan stage 1 (PDF, 916.39 KB) metalliferous mines consolidated report
October 2023 Explosives control plan stage 1 (PDF, 891.24 KB) coal mines surface and underground consolidated report
October 2023 Fire or explosion mechanical stage 2 (PDF, 539.72 KB) coal mines below surface consolidated report
October 2023 Mechanical engineering control plan structural collapse (PDF, 1.75 MB) coal mines above surface consolidated report
September 2023 Fire or explosion mechanical surface and underground (PDF, 353.66 KB) metalliferous mines consolidated report
July 2023 Void management (PDF, 996.06 KB) metalliferous mines targeted intervention program (TIP)
June 2023 Emergency first response (PDF, 314.24 KB) coal above surface consolidated report
June 2023 Falling objects - lifting and cranage (PDF, 835.89 KB) combined surface coal mines stage 1 and CPP underground coal mines consolidated report
June 2023 Lead exposure (PDF, 448.76 KB) metalliferous mines targeted intervention program (TIP)
April 2023 Ground or strata failure - slope stability (PDF, 360.92 KB) tier 1 quarries and surface metalliferous mines consolidated report
April 2023 Roads or other vehicle operating area, unplanned movement underground - stage 1 (PDF, 878.74 KB) underground coal mines consolidated report
February 2023 Ground or strata failure (PDF, 299.25 KB) underground metalliferous consolidated report
February 2023 Exposure to uncontrolled release of electrical energy (PDF, 673.6 KB) coal mines stage 1 consolidated report
February 2023 Mine shafts and winding systems (PDF, 373.97 KB) metalliferous consolidated report
February 2023 Falling objects - lifting and cranage (PDF, 450.75 KB) tier 1 and surface metalliferous consolidated report
February 2023 Ground or strata failure - secondary extraction (PDF, 404.64 KB) coal underground consolidated report
January 2023 Fire or explosion - electrical (PDF, 336.8 KB) Metalliferous mines and tier 1 quarries consolidated report
January 2023 Emergency planning self escape refuge (PDF, 393.42 KB) underground mines consolidated report
November 2022 Ground or strata failure - slope stability (PDF, 520.21 KB) coal mines above surface consolidated report
August 2022 Ground or strata failure - slope stability (PDF, 491.48 KB) small mines consolidated report
June 2022 Ground or strata failure (PDF, 341.44 KB) underground coal targeted intervention program
August 2022 Entanglement (PDF, 624.98 KB) metalliferous planned inspection program consolidated report
August 2022 Fire or explosion - mechanical  (PDF, 456.03 KB) underground coal planned inspection program consolidated report
July 2022 Air quality or dust or other airborne contaminants - stage 2  (PDF, 547.7 KB) coal mines above surface planned inspection program consolidated report
July 2022 Targeted Intervention Campaign - Vehicle interactions (PDF, 204.6 KB) surface coal and metalliferous mines TIC overview
June 2022 Ground or strata failure - stage 2 (PDF, 626.46 KB) open cut coal planned inspection program consolidated report
June 2022 Air quality or dust or other airborne contaminants - stage 2 (PDF, 521.28 KB) underground coal planned inspection program consolidated report
June 2022 Entanglement (PDF, 726.78 KB) small mines planned inspection program consolidated report
March 2022 Ground or strata failure risks in the underground metalliferous sector (PDF, 498.78 KB) metalliferous planned inspection program consolidated report 
March 2022 Spontaneous combustion underground coal mines (PDF, 475.63 KB) underground coal planned inspection program consolidated report 
March 2022 Fire or explosion - Electrical - Underground coal mines (PDF, 465.58 KB) underground coal planned inspection program consolidated report
December 2021 Fire or explosion - Mining - Surface metalliferous mines  (PDF, 526.49 KB) metalliferous planned inspection program consolidated report
December 2021 Ground or strata failure – slope stability (PDF, 490.07 KB)  open cut coal  planned inspection program consolidated report
November 2021 Fire or explosion – Surface coal - Mechanical (PDF, 542.55 KB) surface coal planned inspection program consolidated report
October 2021 Roads or other vehicle operating areas (PDF, 483.1 KB) surface coal planned inspection program consolidated report
October 2021 Fire or explosion maintain non-explosive atmosphere (PDF, 455.76 KB) underground coal planned inspection program consolidated report
October 2021 Fire or explosion - mining - surface coal (PDF, 682.64 KB) surface coal planned inspection program consolidated report
September 2021 Fire or explosion – mining – underground metalliferous mines (PDF, 479.01 KB) underground metalliferous mines planned inspection program consolidated report
September 2021 Inundation or inrush of any substance (PDF, 454.83 KB) underground coal  planned inspection program consolidated report
September 2021 Inundation or inrush of any substance (PDF, 536.82 KB) metalliferous  (below surface) planned inspection program consolidated report
September 2021 Roads and other vehicle operating areas (PDF, 715.19 KB) metalliferous planned inspection program consolidated report
September 2021 Fire or explosion (PDF, 173.98 KB) underground coal planned inspection program report
September 2021 Fire or explosion (PDF, 196.21 KB) petroleum well sites  planned inspection program report
September 2021 Air quality or dust or other airborne contaminants (PDF, 686.16 KB) metalliferous consolidated report
September 2021 Air quality or dust or other airborne contaminants (PDF, 442.34 KB) underground coal consolidated report
August 2021 Entanglement - Coal mines (PDF, 659.4 KB) coal mines entanglement consolidated report
August 2021 Roads and other vehicle operating areas (PDF, 607.28 KB) small mines and quarries planned inspection program consolidated report
July 2021 Dust and other airborne contaminants (PDF, 667.78 KB) open cut coal planned inspection consolidated report
July 2021 Lead risk (PDF, 399.89 KB) metalliferous consolidated report
January 2021 Fire or explosion: Electrical (PDF, 424.7 KB) open cut coal planned inspection consolidated report
December 2020 Roads or other vehicle operating areas (PDF, 585.7 KB) open cut coal planned inspection consolidated report
December 2020 Ground or strata failure (PDF, 437.04 KB) underground coal planned inspection consolidated report
June 2020 Fatigue (PDF, 478.42 KB) metalliferous final TAP consolidated report
February 2020 Fire or explosion (PDF, 1.1 MB) underground coal final TAP report
November 2019 Respirable dust (PDF, 1 MB) quarry operations TIP consolidated report
August 2019 Dust and other airborne contaminants (PDF, 257.6 KB) open cut coal final TAP consolidated report
August 2019 Fire or explosion (PDF, 289.9 KB) metalliferous final TAP consolidated report
August 2019 Diesel exhaust emissions (PDF, 280.52 KB) underground coal final TAP consolidated report
November 2018 Fires on mobile plant (PDF, 508.58 KB) open cut coal planned inspection consolidated report
November 2018 Dredges (PDF, 773.82 KB) mining dredges planned inspection consolidated report
September 2018 Managing fire or explosion risks (PDF, 220.93 KB) underground coal interim TAP report
August 2018 Airborne contaminants (PDF, 183.37 KB) open cut coal interim TAP report
July 2018 Airborne contaminants (PDF, 187.57 KB) metalliferous final TAP consolidated report
June 2018 Emergency management (PDF, 190.51 KB) underground metalliferous and coal final TAP consolidated report
April 2018 Worker exposure to diesel exhaust emissions (PDF, 181.48 KB) underground coal interim TAP report
January 2018 Airborne contaminants (PDF, 170.3 KB) metalliferous final TAP consolidated report
January 2018 Coal dust explosion suppression (PDF, 216.07 KB) underground coal final TAP consolidated report
November 2017 Structural integrity (PDF, 4.2 MB) coal preparation plants planned inspection consolidated report
October 2017 Worker exposure to respirable dust (PDF, 287.06 KB) underground coal final TAP consolidated report
September 2017 Gas outburst risk in longwall mining (PDF, 368.06 KB) underground coal final TIP consolidated report
September 2017 Diesel exhaust emissions (PDF, 279.43 KB) underground metalliferous and coal final TAP consolidated report
September 2017 Ground or strata failure (PDF, 315.56 KB) metalliferous final TAP consolidated report
August 2017 Fatigue management practices (PDF, 760.87 KB) open cut coal final TAP consolidated report
August 2017 Emergency management (PDF, 520.49 KB) underground metalliferous and coal final TAP consolidated report
May 2017 Electrical safety (PDF, 379.59 KB) Dimension stone quarries TIP summary
April 2017 Diesel exhaust emissions (PDF, 280.52 KB) underground metalliferous and coal final TAP consolidated report
April 2017 Ground or strata failure (PDF, 541.3 KB) metalliferous final TAP consolidated report
April 2017 Worker exposure to respirable dust (PDF, 287.06 KB) underground coal  
March 2017 Gas and ventilation management (PDF, 143.59 KB) underground coal final TAP consolidated report